Compliance Strategy Manager
3 weeks ago
Position Overview:
Davies Talent Solutions is seeking a proactive and dynamic Compliance Manager to join a prominent financial advisory network. This essential role involves close collaboration with the Group Compliance team while spearheading compliance initiatives within the Wealth sector of the organization. The successful candidate will provide expert advice and consultancy to Channel Heads and the Senior Management team, supporting the overall growth of the business.
Key Responsibilities:
- Lead the formulation and implementation of the Compliance strategy at a Group Level, with a focus on the Wealth division.
- Deliver expert compliance guidance to senior stakeholders, promoting a robust compliance culture.
- Advise senior leadership on balancing commercial goals with regulatory responsibilities under the Senior Managers and Certification Regime (SMCR).
- Assist the Head of Compliance in managing regulatory engagements, including interactions with the FCA and thematic reviews.
- Identify compliance risks and implement measures to ensure the organization operates within regulatory frameworks.
- Work alongside the Group Compliance team to establish and uphold effective compliance controls.
- Develop strong relationships with key stakeholders throughout the organization.
This role presents an exciting opportunity to become part of a dynamic and expanding organization, offering clear pathways for career advancement. You will take ownership of compliance within the Wealth division, engage with senior stakeholders, and oversee a variety of projects in a rapidly evolving environment.
Candidate Profile:
The ideal candidate will possess significant compliance experience within Wealth or Investment Management sectors, along with a thorough understanding of financial regulations. A pragmatic approach to aligning commercial and strategic objectives with regulatory obligations is essential. Strong communication and interpersonal skills, coupled with analytical and problem-solving capabilities, are crucial. The candidate should be self-motivated, results-driven, and exhibit a proactive attitude.
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